| Meeting Date | Friday, October 27, 2023 |
|---|---|
| Meeting Time | 12PM – 5PM EST |
| Location | Videoconference |
| Members | Dorothy Sanford (Chair) Moshe Milevsky (Vice Chair) Kerry Baisley Heidi Conrad James Emmerton Cristie Ford François Lavallée Andrew Nicholson Enoch Omololu |
| Invitees | CIRO staff: Matthew Brady – VP, Office of the Investor Madeleine Cooper – Senior Policy Counsel, Member Regulation Policy Susan Farrell – Director, Case Assessment / Complaints & Inquiries Sonali GuptaBhaya – VP, Market Policy & Trading Conduct Compliance (Acting) Karen McGuinness – SVP, Office of the Investor, Membership Intake & Innovation Tatsiana Okun – Associate General Counsel, Litigation Sheila Wong – Director, Case Assessment External Participants: Sarah Bradley – CEO, OBSI Mark Wright – Director of Communications and Stakeholder Relations, OBSI |
| TIME (EST) | AGENDA ITEMS | PRESENTERS |
|---|---|---|
| 12:00 – 12:30 PM | 1. Short Selling Proposal | Sonali GuptaBhaya Theodora Lam |
| 12:30 – 1:00 PM | 2. Office of the Investor - Blueprint | Karen McGuinness Matthew Brady |
| 1:00 – 1:15 PM | 3. The Complaint Landscape | Karen McGuinness Matthew Brady |
| 1:15 – 2:00 PM | 4. CIRO’s Complaints Process | Susan Farrell Sheila Wong |
| 2:00 – 2:30 PM | BREAK | |
| 2:30 – 3:15 PM | 5. OBSI Presentations | Sarah Bradley Mark Wright |
| 3:15 – 3:45 PM | 6. Complaint Handling – Policy Consultation | Madeleine Cooper |
| 3:45 – 4:15PM | 7. Arbitration Program Review | Tatsiana Okun |
| 4:15 – 5:00 PM | 8. General Discussion and Administrative Matters | Dorothy Sanford |